responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...
creating a comprehensive investment care service at a low cost. The service starts from (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implementing the portfolio
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
care of the Ministry of Social Development and Human Security (MSDHS). The award was presented by MSDHS Minister, Mr. Varawut Silpa-archa, at the National Children’s Day 2024 event on 13 January 2024 at
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
selling orders were made with equal or under the purchase prices without concern for loss to the client. Moreover, trading volumes soared during the marketing campaign of Country Group Securities.In
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
price; 2) exercise of due care by listed companies? board of directors in giving information and opinions; and 3) the SEC?s approval prior to the placement. At this juncture, the SEC has taken into
the SEC, in materiality. The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited